ALEXANDER FINGERMAN

ALEXANDER FINGERMAN is currently employed as a Broker and/or Investment Adviser at BNP PARIBAS PRIME BROKERAGE, INC. located at 787 7TH AVENUE, NEW YORK, NY, 10019.

ALEXANDER FINGERMAN has worked at BNP PARIBAS PRIME BROKERAGE, INC. since May 06, 2016

Disclosure History

ALEXANDER FINGERMAN has 4 Disclosure Event(s).

Date: January 19, 2012
Category: Financial
Type: Compromise
Disposition: Discharged

Date: August 13, 2011
Category: Financial
Type: Compromise
Disposition: Discharged

Date: June 06, 2011
Category: Financial
Type: Compromise
Disposition: Discharged

Date: February 10, 2011
Category: Financial
Type: Compromise
Disposition: Discharged

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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